AVP, Broker-Dealer Regulatory Reporting - Hybrid NYC
Taurus Search
Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer reserve formulas, assisting with Focus filings, and managing quarterly risk assessments. Candidates should have an undergraduate degree and 5+ years of relevant experience in Financial Services, with a firm grasp of operational reporting and relationship building. #J-18808-Ljbffr
$85k - $110k
A midtown NYC broker-dealer is seeking an Accountant for an Associate level position reporting to the CFO. The role includes monthly closings, reconciliations, and preparing... ...and IFRS is essential. The position offers a hybrid schedule after training, with a salary range...Suggested$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants... ...Assurance Vice President - Broker Dealer Office Status: Hybrid - 2x per week in office Base Salary: $170,000 - $190,000...RegulatoryFull timeWork at officeRemote work$87k - $147k
...MUFG Bank, Ltd is hiring a Regulatory Reporting AVP in Jersey City, NJ, to oversee regulatory capital reporting compliance. The role demands 4–6 years of experience in regulatory reporting, a bachelor’s degree in related fields, and familiarity with frameworks like Basel...Regulatory$200k - $225k
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses on compliance and support for the Company's growth strategy. Ideal candidates should have over 8 years' experience in finance, specifically...Regulatory- ...VP Candidate For Broker-Dealer Regulatory Reporting Team We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial...RegulatoryWork at office
- ...TD Bank in New York is looking for a highly experienced VP candidate for their Broker-Dealer Regulatory Reporting team. This role involves overseeing SEC financial rule reporting, managing net capital computations, and ensuring compliance with regulatory requirements....Regulatory
- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements...RegulatoryPermanent employment
- ...Russell Tobin is seeking an experienced Regulatory Reporting Associate to join our financial services team in Jersey City, NJ. This role... ...ideal candidate will have over 5 years of experience in the Broker-Dealer industry and strong knowledge of accounting standards and...Regulatory
- Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters...Regulatory
- ...in the Financial District in NYC and will have a duration of 3... ...accurate and timely financial reporting across entities Assist in... ...similar) Familiarity with regulatory reporting concepts (e.g., FOCUS... ...to help clients navigate hybrid workforce strategies and connect...RegulatoryContract workLocal areaFlexible hoursShift work
$150k - $180k
...this role. Job Description: We are seeking a highly experienced and detail-oriented VP candidate to support our Broker-Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule...RegulatoryWork at officeLocal areaWork from homeFlexible hours$280k
...Shulman Fleming & Partners is seeking an Executive Director: Regulatory Reporting Innovation & Transformation Lead in New York City. The role... ...in driving transformation initiatives. The position offers a hybrid work schedule and a competitive salary of up to $280,000 per...Regulatory$148.4k - $230.32k
...Vice President of Enterprise Reporting and Data leads enterprise reporting... ...and vendor partners. The AVP also drives cross-functional... ...) ~ Experience with regulatory compliance and audit standards... ...related field is required. #LI-Hybrid #LI-ZP1 For individuals...RegulatoryContract workTemporary work$135k - $160k
...and ease. We’re headquartered in NYC and offer hybrid NY‑based positions (Four days/ week... ...and operates Betterment’s broker‑dealer entity that safeguards over $65B... ...operation of internal controls, and regulatory and financial reporting to maintain compliance with relevant...RegulatoryTemporary workWork at officeLocal areaMonday to ThursdayFlexible hours- ...company in New York City is seeking a Senior Engineer for its Broker Dealer organization to work on backend scaling and optimization. The... ...focus on building stable, scalable software components. This hybrid role requires in-office attendance three days a week and offers...Work at office3 days per week
- ...Street is seeking an experienced Financial Reporting Manager. The ideal candidate will be a... ...experience, particularly in the Broker-Dealer sector. Responsibilities include overseeing... ...financial reporting, ensuring compliance with regulatory requirements, and managing the general...Regulatory
$70k - $90k
...connections. We offer the flexibility of a hybrid schedule from either our Plainview, NY... ...updated exposures, driver information, reporting forms, signed endorsements and miscellaneous... ...events, including all state and federal regulatory issues Knowledge, Skills, And/or...RegulatoryFull timeWork at office- ...Self-clearing broker-dealer seeks Accounts Payable specialist to bring their Accounts Payable Process in-house. The Accounts Payable Specialist... ...supports timely vendor payments, expense processing, and regulatory‑compliant record‑keeping in accordance with SEC, FINRA, and...RegulatoryWeekly pay
- ...York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This... ...broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant... ...attendance Monday to Thursday in NYC, offering a competitive salary and...RegulatoryWork at office
$200k - $235k
...institutional-grade execution and regulatory compliance in everything we... ...As Managing Director, Broker Dealer FINOP, you will be responsible... ...the regulatory financial reporting and compliance for the company... ...Manager/Team. New York, NY (Hybrid) Pay Range $200,000-$235,0...RegulatoryFull timeWork at officeWorldwide$110k - $165k
...hands‑on Senior Accountant with broker‑dealer experience to own complex... ...ensure accurate financial reporting in a regulated environment.... ...environment Broker‑Dealer & Regulatory Accounting Support preparation... ...Street office (44 Wall Street, NYC), where in‑person...RegulatoryTemporary workWork at officeWorldwideMonday to Friday- ...client is a leading global broker-dealer, recognized for its ability... ...standards of financial and regulatory integrity. Operating in a fast... ...accurate financial reporting, strict compliance with regulatory... ...ago Junior Accountant - Hybrid - NYC or Stamford, CT New York, NY...RegulatoryFull timeWorldwide
$140.41k - $172k
...About the Role The Broker‑Dealer Operations Manager will be a vital hands... ...reliability, accuracy and regulatory compliance of Gusto’s broker... ...and remediation, and reporting required for our broker‑dealer... ...includes non‑office days for hybrid employees. Gusto is proud to...RegulatoryDaily paidWork at officeLocal area2 days per week3 days per week$82k - $140k
...Securities Inc. serves as a regulatory advisory function to the President... ...the management of the broker dealer's compliance risk. It is represented... ...the area of coverage. Reports to a senior member of... ...required. Series7, 79 a plus. Hybrid Workforce Model SMBC’s employees...RegulatoryWork at officeLocal areaWork from home$130k - $177k
...seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on... ...platforms. This position is hybrid, 3-4 days a week in NYC. Local candidates only (no relocation... ...SQL for data analysis. Knowledge of regulatory frameworks: Dodd-Frank, EMIR, Basel...RegulatoryContract workH1bLocal areaRelocation3 days per week$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make... ...-grade execution and regulatory compliance in everything we... ...clearing services environment. Reporting to the Chief Compliance Officer... ...experience. New York, NY - Hybrid Please note: this role is...RegulatoryFull timeWork at officeWorldwide- ...global financial services firm in New York is seeking an AVP - Securities Regulatory Reporting professional. This role focuses on preparing regulatory... ...The position offers competitive salary and benefits, with hybrid work options available. #J-18808-Ljbffr Mizuho Financial...Regulatory
$72k - $87k
...and firm registrations and compliance reporting. The ideal candidate will hold an undergraduate... ...1-3 years of relevant experience in broker-dealer compliance, demonstrating excellent... ...proactive attitude. The role offers a hybrid work environment with the opportunity to...Work from home$125k - $180k
...Monroe Capital LLC in New York, NY is seeking a Real Estate Senior Associate/AVP to work closely with the real estate team. This role involves reviewing and underwriting credit transactions, creating financial models, and preparing investment presentations. The ideal candidate...$75k - $95k
...quality financial and investor reporting across a range of alternative... ...accounting standards and regulatory requirements. The role will collaborate... .... Expectations Regarding Hybrid Working As we are a Service... ...Associate: $75,000 - $95,000 AVP: $100,000 - $120,000 How We...RegulatoryWork at officeFlexible hours3 days per week
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